DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O••••••••• P•••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Jun 28, 2020 · 7 filings
SEC status approved since Jul 29, 2020
RAUM
$6.9B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
27
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$6.9B as of Mar 31, 2026
Mar 30, 2021$468M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20210 then
Employees (5.A)35 as of Mar 31, 2026
Mar 30, 202110 then
Private funds27 as of Mar 31, 2026
Mar 30, 20214 then
RAUM +55% over the last fiscal year+57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $257MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +55%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••••••• P••••••• F•••• L• | Private Equity Fund | $852M | 112 | Jun 28, 2019 |
| O••••••••• P••••••• A••• L• | Private Equity Fund | $580M | 91 | Jun 28, 2020 |
| O••••••••• P••••••• F••• I•• L• | Private Equity Fund | $508M | 49 | Mar 31, 2023 |
| O••••••••• P••••••• C••••••••• L• | Private Equity Fund | $179M | 8 | Jun 28, 2019 |
| O••••••••• P••••••• F••• I• ••• L• | Private Equity Fund | $120M | 11 | Mar 31, 2023 |
| O••••••••• P••••••• C•••••••• I•• L• • S••••• C• | Private Equity Fund | $111M | 18 | Mar 31, 2022 |
| O••••••••• P••••••• C•••••••• I•• L• • S••••• B• | Private Equity Fund | $57.4M | 5 | Mar 31, 2022 |
| O••••••••• P••••••• C•••••••• I•• L• • S••••• F• | Private Equity Fund | $54.8M | 16 | Mar 31, 2023 |
| O••••••••• P••••••• C•••••••• I•• L• • S••••• E• | Private Equity Fund | $39.4M | 5 | Mar 31, 2023 |
| O••••••••• P••••••• C•••••••• I•• L• • S••••• D• | Private Equity Fund | $36.9M | 3 | Mar 31, 2022 |
| O••••••••• P••••••• C•••••••• S••••••• L• | Private Equity Fund | $36.2M | 4 | Mar 31, 2022 |
| O•• C•••••••• I•• L• • M• S••••• | Private Equity Fund | $25.0M | 6 | Mar 25, 2024 |
| O•• C•••••••• S•••••• A• L• | Private Equity Fund | $23.4M | 5 | Mar 25, 2024 |
| O••••••••• P••••••• C•••••••• I•• L• • S••••• A• | Private Equity Fund | $14.9M | 3 | Mar 30, 2021 |
| O••••••••• P••••••• C•••••••• S•••••• I•• L• | Private Equity Fund | $10.3M | 4 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J•••• L••• · Managing Partnercontrolsince 09/2018 · owns less than 5%
- B•••••• E•••••• M•••••• · Chief Financial Officercontrolsince 01/2019 · owns less than 5%
- C••••• T•••••••• W•••••• · Partnercontrolsince 01/2019 · owns less than 5%
- G•••••• A••••• R••• · Partnercontrolsince 01/2022 · owns less than 5%
- H•••••• L•••••• K••••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- K••••• J••••••• P•••••• · Partnercontrolsince 01/2019 · owns less than 5%
- B••••••••• J•••• L••• · Membercontrolsince 03/2019 · owns 75% or more of J••••• O••• L••
- C••••• T•••••••• W•••••• · Membercontrolsince 03/2019 · owns 75% or more of B•••••• L••
- K••••• J••••••• P•••••• · Membercontrolsince 03/2019 · owns 75% or more of O•• P••• D•••• L••
Entity owners
- B•••••• L•• · Limited Partnerdirect · owns 25% to 50%
- J••••• O••• L•• · Limited Partnerdirect · owns 50% to 75%
- O•• P••• D•••• L•• · Limited Partnerdirect · owns 10% to 25%
- O••••••••• M•••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- O••••••••• P••••••• ••• I•• L•bankpooled vehicle sponsorn
- O••••••••• P••••••• •••• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 24 to 27Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 18 to 22Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 24 to 27Mar 31, 2025 to Mar 31, 2026
- Employees · 34 to 35Mar 31, 2025 to Mar 31, 2026
- Private funds · 24 to 27Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.5B to $6.7BMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $223MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.5B to $6.9BMar 31, 2025 to Mar 31, 2026
- RAUM · $4.5B to $6.9BMar 31, 2025 to Mar 31, 2026
- Accounts · 15 to 24Mar 25, 2024 to Mar 31, 2025
- Advisory employees · 17 to 18Mar 25, 2024 to Mar 31, 2025
- Pooled vehicle clients · 15 to 24Mar 25, 2024 to Mar 31, 2025
- Employees · 26 to 34Mar 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 31, 2025
- Private funds · 15 to 24Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.6B to $4.5BMar 25, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.6B to $4.5BMar 25, 2024 to Mar 31, 2025
- RAUM · $2.6B to $4.5BMar 25, 2024 to Mar 31, 2025
- Accounts · 24 to 15Mar 31, 2023 to Mar 25, 2024
- Advisory employees · 16 to 17Mar 31, 2023 to Mar 25, 2024
- Pooled vehicle clients · 13 to 15Mar 31, 2023 to Mar 25, 2024
- Employees · 20 to 26Mar 31, 2023 to Mar 25, 2024
- Private funds · 13 to 15Mar 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.8B to $2.6BMar 31, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.8B to $2.6BMar 31, 2023 to Mar 25, 2024
- RAUM · $1.8B to $2.6BMar 31, 2023 to Mar 25, 2024
- Accounts · 9 to 24Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 12 to 16Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 13Mar 31, 2022 to Mar 31, 2023
- Employees · 14 to 20Mar 31, 2022 to Mar 31, 2023
- Private funds · 9 to 13Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.2B to $1.8BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.2B to $1.8BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.2B to $1.8BMar 31, 2022 to Mar 31, 2023
- Accounts · 4 to 9Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 8 to 12Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 9Mar 30, 2021 to Mar 31, 2022
- Custody of client assets · false to trueMar 30, 2021 to Mar 31, 2022
- Employees · 10 to 14Mar 30, 2021 to Mar 31, 2022
- Private funds · 4 to 9Mar 30, 2021 to Mar 31, 2022
Signals
9 dated events
- O••••••••• P•••••••• L• reported RAUM $6.9B, up 55% from $4.5B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- O••••••••• P•••••••• L• reported RAUM $4.5B, up 70% from $2.6B (2024-03-25 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- O••••••••• P•••••••• L• reported RAUM $2.6B, up 46% from $1.8B (2023-03-31 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Raul Ariel Garcia (Partner) appeared on Schedule A of O••••••••• P•••••••• L•Mar 25, 2024 · Control person joined · fact
- K••••••• L••••• H••••• (Chief Compliance Officer) appeared on Schedule A of O••••••••• P•••••••• L•Mar 25, 2024 · Control person joined · fact
- O••••••••• P•••••••• L• reported RAUM $1.8B, up 48% from $1.2B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- O••••••••• P•••••••• L• reported RAUM $1.2B, up 161% from $468.1M (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- O••••••••• P•••••••• L• reported RAUM $468.1M, up 57% from $298.1M (2020-06-28 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- O••••••••• P•••••••• L• filed its initial SEC registration (Form ADV)Jun 28, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••••••• P•••••••• L• · Independent Sponsorsshared crd · capital_provider
- O••••••••• P•••••••• L• · Private Equityshared crd · organization
- O••••••••• P•••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/oceansound-partners-lpreportedpublic record, Form ADV, Sep 18, 2026
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-433-3050reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026